Rule 15c2-11, 17 CRF 240.15c2-11 (Publication or submission of quotations without current information)

OMB 3235-0202

OMB 3235-0202

Rule 15c2-11, adopted September 13, 1971, effective December 13, 1971 (see 36 FR 18641), prohibits broker-dealers from establishing arbitrary quotations for infrequently traded over-the-counter securities and from fraudulent or manipulative trading of the securities of shell corporations by requiring broker-dealers to 1) review information about the issuer when they first publish or resume publishing a quotation for a covered security; 2) document that review; and 3) make the information available to other persons upon request.

The latest form for Rule 15c2-11, 17 CRF 240.15c2-11 (Publication or submission of quotations without current information) expires 2023-07-31 and can be found here.

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Revision of a currently approved collection 1983-04-18
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New collection (Request for a new OMB Control Number) 1981-10-30

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